Please see the attached link for our SEC investigation and litigation discussion webinar and please join us for our next webinar on securities litigation:
Continue Reading Fox Rothschild’s Securities Webinar Series Kicks Off with SEC Discussion

Fox Rothschild’s Securities Industry Group is pleased to announce its publication of an interactive Survey of State Blue Sky Filing Requirements.   SI Group members, A. Binford Minter and Jennifer M.
Continue Reading Fox Rothschild’s Securities Industry Group’s New Interactive Survey of State Blue Sky Filing Requirements Facilitates Rule 506, Regulation A+ Securities Compliance

We were recently reminded of how difficult it is to re-register for a position in the securities industry after being barred.  See

On February 9, 2021, the United States
Continue Reading Leaving is the Hardest Part Especially if You Want to Re-Enter the Securities Industry

In what has become a yearly occurrence, FINRA has notified its member firms about its intent regarding the member firms’ compliance programs.  See

This year, FINRA combined its Report
Continue Reading FINRA’s New Guidance Report… the Name Did Not Change To Protect the Innocent